Procedure for Dealing with Appeals and Complaints
Applicable Standard: ISO/IEC 17021-1:2015
Relevant Clauses: 7.2, 8.1, 8.5, 9.7, 9.8, 4.2, 5.2
Applicable To: ABSQ BENCHMARK Management System Certification Activities

1. Purpose
To define a fair, impartial, timely, and transparent process for receiving, evaluating, investigating, and resolving appeals and complaints related to certification activities.

2. Scope
This procedure applies to:

Appeals against certification decisions
Complaints regarding certified clients
Complaints regarding ABSQ BENCHMARK certification activities, personnel, or auditors

3. Definitions
Appeal
A request by a client or applicant organization for reconsideration of a certification decision made by ABSQ BENCHMARK.

Complaint
An expression of dissatisfaction related to certification activities, certified clients, or ABSQ BENCHMARK operations, for which a response is expected.

4. Responsibilities
General Manager

Ensures implementation of this procedure
Assigns personnel to handle appeals and complaints
Ensures impartiality and independence
Appeals & Complaints Committee (or Designated Independent Personnel)

Reviews appeals and complaints
Makes recommendations for resolution
Certification Director

Ensures corrective actions are implemented (if applicable)

5. General Principles
All appeals and complaints shall be handled impartially and objectively.
Personnel involved in the original audit, review, or certification decision shall not be involved in resolving the appeal or complaint.
No discriminatory actions shall be taken against the appellant or complainant.
(ISO/IEC 17021-1:2015 Clauses 4.2, 5.2, 7.2)

6. Receiving Appeals and Complaints
6.1 Submission
Appeals and complaints may be submitted in writing (email, letter, or online form).
Submissions shall include:

Name and contact details of the submitter
Description of the issue
Relevant evidence (if available)

6.2 Acknowledgement
Receipt shall be acknowledged within 7 working days.
The complainant/appellant shall be informed of the process and expected timelines.
(Clause 9.7.2, 9.8.2)

7. Handling of Appeals
(ISO/IEC 17021-1:2015 Clause 9.7)

7.1 Evaluation
The appeal shall be reviewed to confirm it relates to a certification decision.
An independent reviewer or committee shall be assigned.

7.2 Investigation
Relevant records, audit evidence, and decision rationale shall be reviewed.
Additional information may be requested from the appellant.

7.3 Decision on Appeal
A decision shall be made based on objective evidence.
Possible outcomes:

Uphold original decision
Modify decision
Withdraw decision and initiate corrective action

7.4 Notification
The appellant shall be formally notified of the decision and reasons.
The decision shall be final unless otherwise required by law or accreditation rules.

8. Handling of Complaints
(ISO/IEC 17021-1:2015 Clause 9.8)

8.1 Evaluation
Complaints shall be reviewed to determine:

Validity
Relevance to certification activities
Anonymous complaints may be accepted if supported by evidence.

8.2 Investigation
Complaints about certified clients may result in:

Special audits
Surveillance adjustments
Complaints about ABSQ BENCHMARK or its personnel shall be investigated internally.

8.3 Resolution
Appropriate actions shall be determined and implemented.
Corrective actions shall be recorded and verified.

8.4 Communication
The complainant shall be informed of the outcome, subject to confidentiality constraints.

9. Records and Confidentiality
All appeals and complaints records shall be maintained as confidential.
Information shall not be disclosed without authorization unless required by law.
(Clause 8.5)

10. Monitoring and Improvement
Appeals and complaints shall be analyzed for trends.
Results shall be reviewed during Management Review meetings for continual improvement.
(Clause 9.3, 10.2)

11. Key Control Statement
Appeals and complaints are handled independently of audit, review, and certification decision activities to ensure impartiality and transparency.

12. Records
Appeal records
Complaint records
Investigation reports
Corrective action records